Compliance Research


Presented by: Mary Beth Guard and Andy Zavoina

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  Ever feel like you needed to go to law school to be able to do your job?

We understand. You're up to your eyeballs in laws, regulations, interpretive opinions, court decisions, and you're expected to be able to locate anything at any time. Not only that, but you're expected to understand it! In two short hours we can help you gain proficiency with compliance research, teaching you insider tips for gathering compliance information and making sense of it.

Join Mary Beth Guard and Andy Zavoina as they walk you through the legal labyrinth and teach you to become a research ace. After all, no one knows it all, and even if they did last month, there will be new information this month, so knowing where to look - and how to find information fast - is essential to performing your duties, and basic rules of construction and interpretation are vital to understanding what you find.

As you have to opine on various regulatory and legal requirements, audit your institution's performance and guide your team along as you create new and innovative products, you have to know how to find the information vital to your success. The wrong information can be far too costly in many forms. You may design a product that violates a law or regulation, or you may perceive an artificial requirement that restricts your product or the income it could generate.

We'll discuss:
  • What's found in federal law, what's found in state law, and why the difference matters
  • How to find pending legislation and pertinent information about it
  • The quickest, easiest way to find new laws
  • Essential terms - from promulgation to codification
  • The anatomy of a legal citation
  • The administrative rulemaking process
  • How other people's comment letters can help you gain insight into how a proposed reg is likely to impact you
  • Turf battles - what each regulatory agency's scope of authority is
  • Resources for information
  • How to read a regulation or law - and best understand what it says
  • Sources for backgrounds and summaries
  • Research tips and techniques.
About the Speakers:  Mary Beth Guard has been teaching financial privacy to bankers since the early 1990s and has authored more than a hundred articles on private-related subjects. In addition, she has created privacy cheat sheets and matrices used by thousands of bankers nationwide. Currently serving as Executive Editor of, Mary Beth has had a long and distinguished career, focusing on the banking industry since 1984. Previously, Mary Beth served as EVP/General Counsel and COO for the Oklahoma Bankers Association and General Counsel for the Oklahoma State Banking Department.

Mr. Zavoina has been in finance and banking for 23 years. Over 20 years were with a holding company with two Central Texas community banks that had $534 million in assets, 89 branches spanning Texas and nearly 500 ATMs. After starting in loan workouts, Mr. Zavoina has been a consumer, commercial and real estate lender and managed those departments as well as being the banks first Webmaster. He was responsible for compliance, management, auditing, and training for both banks.

Mr. Zavoina is a past Chairman of the American Bankers Association's Compliance Executive Committee. He was the 2003 recipient of the American Bankers Association's Distinguished Service Award for his involvement and accomplishments in the field of regulatory compliance management. He was chairman of the Editorial Advisory Board for the ABA's Compliance Magazine, Compliance Action magazine, was a member of the ABA's Compliance School Board and is a BankersOnline Guru. He also served on the Texas Bankers Association's Compliance Committee.

He is a graduate of the ABA National Commercial Lending School, National Compliance and National Graduate Compliance School and is a Certified Regulatory Compliance Manager with the Institute of Certified Bankers. He has written numerous articles and lectured on compliance, the use of the Internet and technology as a tool, as well as compliance in cyberspace to local, state and national associations. Internet policies and other compliance related programs are made available on his personal Web site.

You have the right under this license agreement for this CD-ROM to use this presentation on a single-workstation. Use on a network is in violation of the copyright agreements. CD may be used by multiple users at a given institution but may not be placed on a network or in any other multi-user environment.

This program was recorded in its entirety in October 2006. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

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This product was added to our catalog on Wednesday 04 October, 2006.

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